401(k) - Plan Internal Compliance Audit - Part 3 1.5 Credits
Compliance / Non-Discrimination Testing
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Prepare to immerse yourself in the nuanced landscape of compliance and non-discrimination testing for 401(k) plans. This illuminating course aims to demystify the intricate regulations governing qualified retirement plans, highlighting the often misunderstood elements that can trip up even the most diligent auditors. This course is the third part of a four-part series crafted to ensure that your retirement plans align with IRS and DOL standards and address the diverse needs of all employees. What strategies can you implement to create a plan that uplifts essential personnel and the organization?
Throughout this dynamic course, participants will delve into general non-discrimination testing, examining its implications for discretionary employer contributions and the specific regulations that shape 401(k) salary deferrals. We’ll confront plan design challenges that may inadvertently exclude eligible employees or create disparities in benefit distribution. With real-world examples illuminating the path, these complex rules will transform into practical insights tailored to your circumstances.
Key topics covered:
Upon completing this webinar, you will have the expertise and confidence to easily navigate compliance testing, ensuring that your 401(k) plans remain just and beneficial for everyone involved. Seize this opportunity to enhance your knowledge and refine your retirement plan strategy!
Note: This is part 3 of a four-part series addressing Internal Audits of 401(k) Plans. Part 1 – Plan Document Issues / Amendments, Part 2 – Form 5500 / Annual Administration, Part 3 – Compliance / Non-Discrimination Testing, Part 4 – Fiduciary Responsibility. Because of the nature of the material, some of the topics will overlap from one part to another, and that relationship will be noted. There is no specific order in which the parts should be reviewed, as one does not necessarily follow another due to the nature of the topic.
| License details | Credits | Status |
|---|---|---|
| Taxes for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Federal tax-related matters for Enrolled Agents (EA) (Approval No. GEHNZ-T-02144-24-S) | 1 CE | Approved |
| Federal tax-related matters for Annual Filing Season Program (AFSP) (Approval No. GEHNZ-T-02144-24-S) | 1 CE | Approved |
| Federal tax-related matters for California Registered Tax Preparers (CRTP) (Approval No. 6273-CE-1730) | 1 CE | Approved |
| Personal Financial Specialist (PFS) | 1.5 CPD | Eligible |
| Taxes for Chartered Financial Analyst (CFA) | 1.5 PL | Eligible |
| Taxes for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Chartered Financial Consultant (ChFC) | 1.5 CE | Eligible |
| Federal tax-related matters for Oregon Registered Tax Preparers (ORTP) (Approval No. GEHNZ-T-02144-24-S) | 1 CE | Approved |
| Tax Planning for Certified Financial Planner (CFP-US) (Approval No. 332185) (Valid upto : Dec 31, 2025) | 1.5 CE | Approved |
| Enrolled Retirement Plan Agent (ERPA) (Approval No. GEHNZ-Q-02219-24-S) | 1 CE | Approved |
| Certified Wealth Strategist (CWS) | 1.5 CE | Eligible |
| Trust and Estate Practitioners (TEP) | 1.5 CPD | Eligible |
| Certified Fiduciary and Investment Risk Specialist (CFIRS) | 1.5 CE | Eligible |
| Retirement Income Certified Professional (RICP) | 1.5 CE | Eligible |
| Federal tax-related matters for LTC (Approval No. GEHNZ-T-02144-24-S) | 1 CE | Eligible |
| Certified Plan Fiduciary Advisor (CPFA)/Qualified Plan Financial Consultant (QPFC) | 1.5 CE | Eligible |
| Wealth Management Certified Professional (WMCP) | 1.5 CE | Eligible |
| Financial Services Certified Professional (FSCP) | 1.5 CE | Eligible |
| Taxes for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Taxes for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Federal tax-related matters for Maryland Tax Preparer (MRTP) (Approval No. GEHNZ-T-02144-24-S) | 1 CE | Approved |
| Chartered Advisor in Philanthropy (CAP) | 1.5 CE | Eligible |
| Chartered Special Needs Consultant (ChSNC) | 1.5 CE | Eligible |
| Chartered Life Underwriter (CLU) | 1.5 CE | Eligible |
| CIPM | 1.5 PL | Eligible |
| Chartered Advisor in Senior Living (CASL) | 1.5 CE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Taxes for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Federal tax-related matters for Enrolled Agents (EA) (Approval No. GEHNZ-T-02144-24-O) | 1 CE | Approved |
| Federal tax-related matters for Annual Filing Season Program (AFSP) (Approval No. GEHNZ-T-02144-24-O) | 1 CE | Approved |
| Federal tax-related matters for California Registered Tax Preparers (CRTP) (Approval No. 6273-CE-1730) | 1 CE | Approved |
| Personal Financial Specialist (PFS) | 1.5 CPD | Eligible |
| Taxes for Chartered Financial Analyst (CFA) | 1.5 PL | Eligible |
| Taxes for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| Chartered Financial Consultant (ChFC) | 1.5 CE | Eligible |
| Federal tax-related matters for Oregon Registered Tax Preparers (ORTP) (Approval No. GEHNZ-T-02144-24-O) | 1 CE | Approved |
| Tax Planning for Certified Financial Planner (CFP-US) (Approval No. 332185) (Valid upto : Dec 31, 2025) | 1.5 CE | Approved |
| Qualified Retirement Plan Matters for Enrolled Retirement Plan Agent (ERPA) (Approval No. GEHNZ-Q-02219-24-O) | 1 CE | Approved |
| Certified Wealth Strategist (CWS) | 1.5 CE | Eligible |
| Trust and Estate Practitioners (TEP) | 1.5 CPD | Eligible |
| Certified Fiduciary and Investment Risk Specialist (CFIRS) | 1.5 CE | Eligible |
| Retirement Income Certified Professional (RICP) | 1.5 CE | Eligible |
| LTC (Approval No. GEHNZ-T-02144-24-O) | 1 CE | Eligible |
| Certified Plan Fiduciary Advisor (CPFA)/Qualified Plan Financial Consultant (QPFC) | 1.5 CE | Eligible |
| Wealth Management Certified Professional (WMCP) | 1.5 CE | Eligible |
| Financial Services Certified Professional (FSCP) | 1.5 CE | Eligible |
| Taxes for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Taxes for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Federal tax-related matters for Maryland Tax Preparer (MRTP) (Approval No. GEHNZ-T-02144-24-O) | 1 CE | Approved |
| Chartered Advisor in Philanthropy (CAP) | 1.5 CE | Eligible |
| Enrolled Actuaries | 1.5 CE | Eligible |
| Chartered Special Needs Consultant (ChSNC) | 1.5 CE | Eligible |
| Chartered Life Underwriter (CLU) | 1.5 CE | Eligible |
| CIPM | 1.5 PL | Eligible |
| Employee Benefit Plan Audit Quality Center (EBPAQC) | 1.5 CPD | Eligible |
| Chartered Advisor in Senior Living (CASL) | 1.5 CE | Eligible |
Credits
Course Level
Instructional Method
Pre-requisites
Advance Preparation
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MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478
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Stephen Abramson is the President and founding partner of APS Pension & Financial Services established in 1977, a mid-size consulting and actuarial firm employing twenty-two professional and support staff specializing in pension and pension-related services. For over 40 years, APS has been providing closely held businesses with financial services including pension design and administration, business succession planning, and wealth preservation planning. In 2015 APS Investment Management was established to provide fiduciary services to 401(k) and 403(b) plans and in 2018 APS Wealth Management, a Registered Investment Advisor (RIA), was established to provide investment management services to individual clients and retirement plans replacing his previous relationship with a Broker/Dealer. Steve has taught professional level education programs for the American Society of Pension Actuaries; lectured to various professional groups, including the National Conference of CPA Practitioners, The NYS Society of CPAs, Nassau Bar Association, the C.W. Post Tax Institute, and the National Institute of Pension Administrators; and conducted continuing education seminars for Certified Public Accountants for the past 35 years. He is co-author of Plan Smart, Retire Rich published by McGraw Hill in 1998; author of Advisor’s Guide to Qualified Plans originally published by Aspen Publishing in March, 2002 and recently in the process of being updated with the 8th edition, and Retirement Financial Management for Clients Approaching Retirement published by Aspen Publishing in August, 2002. A less technical version of Advisor’s Guide to Qualified Plans entitled Guide to Qualified Retirement Plans: A Plain Language Primer was published by the International Association of Employee Benefits in March 2005. The second edition of this book was released in 2008.
Steve graduated from Cornell University in 1964, earned the designation of Chartered Life Underwriter in 1967 from the American College, Certified Pension Consultant in 1970 from the American Society of Pension Professionals and Actuaries and Chartered Financial Consultant from the American College in 1972.
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We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
AB
Webinar clearly explains the internal compliance for 401K Plans and is useful for advising the clients
MR
Great job very insightful
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